Joseph D Ricciardi

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/1994 → Present
  United Airlines
  Chicago, IL
• 09/2010 → 05/2019
  Securities America Inc.
  La Vista, NE
• 12/2013 → 05/2019
  Securities America Advisors
  Crystal Lake, IL
• 05/2019 → Present
  Lpl Financial, Llc
  Crystal Lake, IL

Previous Registrations

• 2013-12-11 → 2019-06-03
  Securities America Advisors, Inc.
  Crystal Lake, IL
• 2010-09-28 → 2013-12-31
  Dorion-Gray Retirement Planning, Inc.
  Crystal Lake, IL
• 2008-01-23 → 2009-11-12
  Cetera Wealth Services, Llc
  Crystal Lake, IL

Other Businesses

1. 11/01/2010 - JOSEPH RICCIARDI/ NON-VARIABLE INSURANCE/ INVESTMENT RELATED/ 0%/ CRYSTAL LAKE, IL 2. 05/31/2019 - PWA/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ CRYSTAL LAKE, IL 3. 05/31/2019 - PROFESSIONAL WEALTH ADVISORS/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ CRYSTAL LAKE, IL. 4. 5/31/2019 - UNITED AIRLINES - Not Investment Related - O'Hare Intl Airport, Chicago IL 60666, United States - Other-Pilot - Started 12/26/1994 - 75 Hours Per Month. 5. 2/1/2023 - JR FInancial Holdings, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 05/01/2019 - 50 Hours Per Month/50 Hours During Securities Trading

Exams

• S66 Uniform Combined State Law Examination
  2007-05-01

Designations

• Certified Financial Planner